Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
consistent and suitable for the risks and complexity of each type of capital market product by taking into consideration the best interest of clients. In addition, such communication and provision of services
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
Exchange dated 22 December 2004 and its amendment, which are in force on the date on which this Notification comes into force, shall remain in force to the extent that they are consistent with or not
shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this
The SEC Office may prescribe a detailed guideline of the provisions under this Notification to serve as a guideline which is appropriate and consistent with this Notification, and upon compliance with
the following details. In addition, such method and procedure shall be consistent with and suitable for each type of capital market products or services: (1) a procedure for preparing communication and
of transaction, value of transaction, price per unit (if any) and the investment limit compared with the net asset value of private fund specifying such transaction consistent with any of clause 18(1
supplementary documents as required by the notification of the SEC Office. The Capital Market Supervisory Board shall approve rule of the derivatives exchange unless such rules: 20 (1) are not consistent with the